Ryan D. Sewell

AW SECURITIES

Houston, TX 77027

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CRD#: 5873355

Professional summary

Ryan David Sewell, who also goes by Ryan David Sewell, Ryan Sewell, is a registered financial professional currently at AW SECURITIES located in Houston, Texas.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2011. Ryan has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ryan David Sewell | Ryan Sewell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan David Sewell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 23, 2024 - Present

AW SECURITIES

Office #1: 1800 W. Loop S. Ste 1980, Houston, TX 77027

CRD#: 103747

Houston, TX

Past

February 21, 2023 - February 26, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

November 29, 2022 - February 26, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

WINDERMERE, FL

Past

June 19, 2015 - June 28, 2022

HARRISDIRECT LLC

RIA

CRD#: 42159

WINTER PARK, FL

Past

June 4, 2015 - June 28, 2022

E*TRADE SECURITIES LLC

CRD#: 29106

WINTER PARK, FL

Past

August 23, 2012 - May 20, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

THE VILLAGES, FL

Past

January 19, 2011 - May 19, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

THE VILLAGES, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/23/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/7/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/15/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/9/2011

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

AW SECURITIES

CRD#: 103747 / SEC#: 801-69038, 8-52250

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Mailing Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Phone number

(916) 482-2196

Established

Delaware since 10/26/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLWORTH FINANCIAL GROUP, L.P.	GENERAL PARTNER
BEATON, DANIEL STEWART	FINOP	4240769
FRIZE, BERNARD JOSEPH JR	CHIEF COMPLIANCE OFFICER - BD	2366022
GAMBLE, COREY C	CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO	4919573
GREENBERG, BARRY YALE	CHIEF LEGAL COUNSEL	5863733
GRIGSBY, GARY LAWSON	CEO	3167632
TAYLOR, KRISTIAN LEIGH	VICE PRESIDENT- OPERATIONS	4163800

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Ryan D. Sewell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan David Sewell's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/7/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2011

Series 9

Date: 2/15/2011

Series 10

Date: 2/9/2011

FINRA

Current Firm

AW SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

AW SECURITIES

TRUST BUT VERIFY

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